6th May 2014 15:46
AMENDMENT
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | Morgan Stanley Securities Limited |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | ASTRAZENECA PLC |
(c) Name of the party to the offer with which exempt principal trader is connected:
| ASTRAZENECA PLC |
(d) Date dealing undertaken: | 02 MAY 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | YES |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchases/sales | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
USD 0.25 ORDINARY | PURCHASES | 6,819,698 | 48.4300 GBP | 46.9965 GBP |
USD 0.25 ORDINARY | SALES | 2,075,556 | 48.4500 GBP | 47.1105 GBP |
USD 0.25 ORDINARY | PURCHASES | 28,500 | 529.0000 SEK | 529.0000 SEK |
USD 0.25 ORDINARY | SALES | 800,000 | 81.0275 USD | 81.0033 USD |
(b) Derivatives transactions (other than options)
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
USD 0.25 ORDINARY | CFD | LONG | 25,975 | 47.5994 GBP |
USD 0.25 ORDINARY | CFD | LONG | 187,306 | 47.7635 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,210 | 47.7838 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,105 | 47.7838 GBP |
USD 0.25 ORDINARY | CFD | LONG | 12,819 | 47.7838 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,866 | 47.7838 GBP |
USD 0.25 ORDINARY | CFD | LONG | 157 | 47.8350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,868 | 47.8719 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3 | 47.8800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 229 | 47.8812 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,232 | 47.9006 GBP |
USD 0.25 ORDINARY | CFD | LONG | 36 | 47.9166 GBP |
USD 0.25 ORDINARY | CFD | LONG | 29 | 47.9186 GBP |
USD 0.25 ORDINARY | CFD | LONG | 215 | 47.9313 GBP |
USD 0.25 ORDINARY | CFD | LONG | 30 | 47.9316 GBP |
USD 0.25 ORDINARY | CFD | LONG | 20 | 47.9380 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,173 | 47.9570 GBP |
USD 0.25 ORDINARY | CFD | LONG | 219 | 47.9596 GBP |
USD 0.25 ORDINARY | CFD | LONG | 267 | 47.9646 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,282 | 47.9809 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4 | 47.9825 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,375 | 48.0052 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,120 | 48.0165 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,602 | 48.0202 GBP |
USD 0.25 ORDINARY | CFD | LONG | 642,232 | 48.0202 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,905 | 48.0209 GBP |
USD 0.25 ORDINARY | CFD | LONG | 191 | 48.0300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 114 | 48.0400 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,114 | 48.0543 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,048 | 48.0740 GBP |
USD 0.25 ORDINARY | CFD | LONG | 524 | 48.0760 GBP |
USD 0.25 ORDINARY | CFD | LONG | 115 | 48.0800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 286 | 48.0800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 59 | 48.0800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,105 | 48.0870 GBP |
USD 0.25 ORDINARY | CFD | LONG | 14,685 | 48.0870 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,210 | 48.0870 GBP |
USD 0.25 ORDINARY | CFD | LONG | 664 | 48.1100 GBP |
USD 0.25 ORDINARY | CFD | LONG | 78,660 | 48.1183 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,210 | 48.1264 GBP |
USD 0.25 ORDINARY | CFD | LONG | 14,685 | 48.1264 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,105 | 48.1264 GBP |
USD 0.25 ORDINARY | CFD | LONG | 550 | 48.1552 GBP |
USD 0.25 ORDINARY | CFD | LONG | 598 | 48.1674 GBP |
USD 0.25 ORDINARY | CFD | LONG | 331 | 48.1757 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,450 | 48.1757 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,652 | 48.1757 GBP |
USD 0.25 ORDINARY | CFD | LONG | 67 | 48.1862 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,344 | 48.1862 GBP |
USD 0.25 ORDINARY | CFD | LONG | 14,685 | 48.2427 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,210 | 48.2427 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,105 | 48.2427 GBP |
USD 0.25 ORDINARY | CFD | LONG | 918 | 48.4324 GBP |
USD 0.25 ORDINARY | CFD | LONG | 641 | 48.4324 GBP |
USD 0.25 ORDINARY | CFD | LONG | 548 | 48.4324 GBP |
USD 0.25 ORDINARY | CFD | LONG | 345 | 48.4324 GBP |
USD 0.25 ORDINARY | CFD | LONG | 238 | 48.4324 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,062 | 47.7214 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,138 | 47.7214 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,827 | 47.7214 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,149 | 47.7214 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 794 | 47.7214 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 25,975 | 47.8154 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 591 | 47.8183 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,523 | 47.8318 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 138 | 47.8318 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 500,000 | 47.8702 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 184,306 | 47.8948 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 181 | 47.9650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 25,173 | 47.9815 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 634,176 | 47.9961 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,575 | 47.9968 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 203 | 47.9968 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,014 | 47.9968 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,887 | 48.0230 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 16,177 | 48.0657 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,202 | 48.0800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,700 | 48.0821 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 32,769 | 48.2427 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,520 | 48.3224 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,000 | 529.5000 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 8,000 | 527.4000 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 185 | 528.1351 SEK |
ADRS | CFD | LONG | 2,117 (Traded in ADR form) | 80.8000 USD |
ADRS | CFD | LONG | 348 (Traded in ADR form) | 80.8000 USD |
ADRS | CFD | LONG | 345 (Traded in ADR form) | 81.0200 USD |
ADRS | CFD | LONG | 2,104 (Traded in ADR form) | 81.0200 USD |
ADRS | CFD | SHORT | 169 (Traded in ADR form) | 80.9100 USD |
ADRS | CFD | SHORT | 5,000 (Traded in ADR form) | 80.9752 USD |
ADRS | CFD | SHORT | 517 (Traded in ADR form) | 80.9900 USD |
ADRS | CFD | SHORT | 100 (Traded in ADR form) | 80.9900 USD |
ADRS | CFD | SHORT | 4,236 (Traded in ADR form) | 81.0200 USD |
ADRS | CFD | SHORT | 695 (Traded in ADR form) | 81.0200 USD |
ADRS | CFD | SHORT | 24,659 (Traded in ADR form) | 81.0437 USD |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
N/A | N/A | N/A | N/A |
(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
N/A | N/A | N/A | N/A |
The currency of all prices and other monetary amounts should be stated.
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
3. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer: If there are no such agreements, arrangements or understandings, state "none" |
None
|
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state "none" |
None
|
| Date of disclosure: | 06 MAY 2014 |
| Contact name: | Darren Wickert |
| Telephone number: | +44 (0)20 7425 6578 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
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